Risk and Compliance Questions and Answers 2nd ed

The new second edition of Risk and Compliance Questions and Answers has been updated to incorporate the latest regulatory information and guidance from government, the SRA, LSAG and the Law Society.

Through a series of over 200 questions and answers, covering common to complex issues, this book provides practical guidance on points that those tasked with risk and compliance in their firm or business need to consider and respond to quickly. It also provides invaluable assistance to all managers and fee earners working in the firm.

Covering key areas such as:

• anti-money laundering
• financial crime, including sanctions
• Economic Crime and Corporate Transparency Act 2023
• the regulatory framework
• the SRA Accounts Rules
• data protection
• professional ethics
• conflicts and confidentiality
• client care, and
• law firm management and HR

Each question and answer also suggests helpful resources and provides valuable compliance tips.

An essential companion on your risk and compliance journey; this book can be dipped into as required or read cover to cover to assist with a firm or legal department’s risk assessment and audit process.